2011-08-15T14:05:06-05:00 2010-09-30 KPMG LLP ONE FINANCIAL PLAZA HARTFORD CT 061032608 990 2009-10-01 222528400 SAINT MARY'S HOSPITAL FOUNDATION INC STMA 2037093054 56 FRANKLIN STREET WATERBURY CT 06706 CHAD WABLE 2011-08-15 8605223200 2009 2016-02-24 21:20:13Z MARGARET J LAWLOR 56 FRANKLIN STREET WATERBURY CT 06706 1341329 false 0928 X WWW.STMH.ORG X 1984 CT SAINT MARY'S HOSPITAL FOUNDATION'S PRIMARY EXEMPT PURPOSE IS TO RAISE MONEY IN SUPPORT OF SAINT MARY'S HOSPITAL, INC. 23 20 0 23 0 0 818683 796212 0 0 -94583 80789 334839 284835 1058939 1161836 286725 524702 0 0 338196 344258 0 0 36002 211377 242612 836298 1111572 222641 50264 4490579 4662962 220646 153777 4269933 4509185 SAINT MARY'S HOSPITAL FOUNDATION'S PRIMARY EXEMPT PURPOSE IS TO RAISE MONEY IN SUPPORT OF SAINT MARY'S HOSPITAL, INC. false false 936682 524252 284835 SAINT MARY'S HOSPITAL FOUNDATION, INC. RAISES CONTRIBUTIONS FROM THE PUBLIC SOLELY FOR THE BENEFIT OF SAINT MARY'S HOSPITAL, INC. CONTRIBUTIONS ARE RAISED FOR SPECIFIC AND NON-SPECIFIC PURPOSES AND DISTRIBUTED TO THE HOSPITAL BASED ON THE HOSPITAL'S NEEDS. PLEASE SEE SCHEDULE O FOR A DESCRIPTION OF SAINT MARY'S HOSPITAL'S PROGRAM SERVICE ACCOMPLISHMENTS. 936682 true true false false false false false false true true true true false false false false false false true false false true false true false false false false false false false false true false false false false true false false false true 0 0 0 false false false false false true true false false false false 23 20 false false false false false true true true true false false true true true true true true true false false CT X RENEE WARNER 2037095134 56 FRANKLIN STREET WATERBURY CT 06706 CHAD WABLE 1.0 X 0 403189 115001 MICHAEL C CULHANE 1.0 X 0 0 0 DONNA DEVINO 1.0 X 0 0 0 PETER DOIRON 1.0 X 0 0 0 THERESA M DUDRICK 1.0 X 0 0 0 LEONARD GENOVESE 1.0 X 0 0 0 JACI HANRATTY-CARROLL 1.0 X 0 0 0 PETER J JACOBY MD 3.0 X 0 408200 30477 BRIAN JONES 1.0 X 0 0 0 COOKIE KEGGI 1.0 X 0 0 0 PAUL J LARGAY 1.0 X 0 0 0 JOHN PRONOVOST 1.0 X 0 0 0 SHARON ZILAHY RN 1.0 X 0 0 0 PAUL KELLY MD 1.0 X 0 0 0 LAURIE ST JOHN 1.0 X 0 0 0 CARMEN ANTHONY VACALEBRE 1.0 X 0 0 0 JOHN A ZINNO JR 2.0 X 0 0 0 ERIC D ALBERT 2.0 X X 0 0 0 JOSEPH CARLSON III 2.0 X 0 0 0 MARK C YANARELLA 2.0 X X 0 0 0 MARGARET J LAWLOR 19.0 X X 0 283437 1250 GEORGE J STROBEL JR 1.0 X X 0 0 0 LEO FRANK 1.0 X X 0 0 0 FREDERICK W BLASIUS JR 1.0 X 0 0 0 DAVID ALAN ROER MD 1.0 X 0 0 0 KEITH F SULLIVAN CPA 1.0 X 0 0 0 MARIA TAYLOR 1.0 X 0 0 0 STEPHEN C WIDMAN MD 1.0 X 0 0 0 JOHN H BARLOW JR 1.0 X 0 0 0 EDMUND WHITE 1.0 X 0 0 0 JOHN P BURKE 1.0 X 0 0 0 0 1094826 146728 0 false true false NA 0 124422 671790 135590 796212 0 80789 0 80789 0 0 0 0 0 0 0 0 0 0 0 0 464328 124422 179493 284835 284835 0 0 0 1161836 284835 0 80789 524702 524702 0 0 0 130817 130817 0 186176 186176 0 27265 27265 0 0 0 14463 14463 0 0 21470 21470 0 31898 28471 3427 67257 19858 19629 27770 10588 10588 0 12504 12504 4263 4263 0 0 2160 2160 0 3070 3070 0 PUBLIC AND EMPLOYEE RELATIONS 15992 11916 4076 CONTRACT FEES 591 591 CONSULTANT FEES 18389 17660 729 BAD DEBT EXPENSES 26285 26285 MISCELLANEOUS 13682 9663 4019 1111572 936682 138888 36002 1428457 1259940 164950 148817 261741 340000 1435 16045 5302 5667 49351 33709 9380 15642 2605962 2864525 13352 12326 4490579 4662962 152925 115709 67721 38068 220646 153777 X 1628266 1555371 1673778 1985925 967889 967889 4269933 4509185 4490579 4662962 X false true true X false X 1578477 872680 534106 818683 796212 4600158 1578477 872680 534106 818683 796212 4600158 4600158 30224 232073 247191 80789 590277 5190435 2222351 0.88628 0.57245 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1080380 86655 76729 1090306 1059146 33734 12500 1080380 0.00000 0.33000 0.67000 false false 49351 33709 15642 15642 0 DUE TO SAINT MARY'S HOSPITAL INC 15654 CHARITABLE GIFT ANNUITIES 22355 DUE TO SLOCUM CORP 59 38068 1161836 1111572 50264 188988 188988 239252 1530317 188988 188988 1341329 -179493 -179493 1161836 1291065 179493 179493 1111572 1111572 ENDOWMENT FUNDS PART V THE ENDOWMENT FUNDS OF THE FOUNDATION INCLUDE PERMANENT AND TERM RESTRICTED INVESTMENTS. THE PERMANENT ENDOWMENT FUNDS INCLUDE VARIOUS WILLS AND ESTATES WHEREBY THE ORIGINAL GIFT IS PERMANENTLY RESTRICTED AND THE INCOME GENERATED IS UNRESTRICTED AND USED TO SUPPORT HOSPITAL OPERATIONS. THE TERM RESTRICTED FUNDS INCLUDE A TOTAL OF 74 FUNDS RESTRICTED AS TO USE. THESE FUNDS ARE ORGANIZED INTO ELEVEN CATEGORIES, BASED UPON THE INTENDED USE OF THE FUND. THE CATEGORIES ARE CARDIOLOGY, CHILDREN AND FAMILY HEALTH CLINICS, EMERGENCY DEPARTMENT, DEPARTMENT OF SURGERY, NURSING DEPARTMENTS, CLINICAL DEPARTMENTS, NON-CLINICAL DEPARTMENTS, MEDICAL/SURGICAL EDUCATION, SPECIAL FUNDS, SCHOLARSHIP FUNDS AND EDUCATION FUNDS. THE FUNDS ARE USED BASED ON THE DONOR STIPULATED RESTRICTIONS. OTHER REVENUE INCLUDED ON RETURN BUT NOT IN THE FINANCIAL STATEMENTS PART XII, LINE 4B FUNDRAISING EXPENSE ($179,493) OTHER EXPENSES INCLUDED IN THE FINANCIAL STATEMENTS BUT NOT ON RETURN PART XIII, LINE 2D FUNDRAISING EXPENSE $179,493 GALA 315480 71512 243968 9688 77712 GOLF TOURNY 204750 46282 158468 0 52457 1 68520 6628 61892 0 39636 588750 124422 464328 9688 169805 179493 284835 false SAINT MARY'S HOSPITAL INC 56 FRANKLIN STREET WATERBURY CT 067061281 060646844 501(c)(3) 524702 VARIOUS false true false false false false false false false CHAD WABLE 0 328795 0 57750 0 16644 0 91664 0 23337 0 518190 0 0 PETER J JACOBY MD 0 407426 0 0 0 774 0 19600 0 10877 0 438677 0 0 MARGARET J LAWLOR 0 104516 0 0 0 178921 0 0 0 1250 0 284687 0 0 ESTABLISH COMPENSATION SCHEDULE J - PART I - LINE 3 SAINT MARY'S HOSPITAL FOUNDATION, INC. TOP MANAGEMENT OFFICIALS COMPENSATION ARE DETERMINED UNDER THE COMPENSATION POLICIES OF SAINT MARY'S HEALTH SYSTEM WHICH INCLUDE A COMPENSATION COMMITTEE, INDEPENDENT COMPENSATION CONSULTANT, WRITTEN EMPLOYMENT CONTRACT, COMPENSATION SURVEY OR STUDY, AND APPROVAL BY THE BOARD OR COMPENSATION COMMITTEE. PARTICIPATION IN OR PAYMENT FROM NONQUALIFIED RETIREMENT PLANS SCHEDULE J - PART I - LINE 4B CHAD WABLE PARTICIPATED IN A SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN. NO PAYMENT WAS RECEIVED BY THIS INDIVIDUAL DURING THE FISCAL YEAR ENDING 2010 FROM THIS PLAN. COMPENSATION SCHEDULE J, PART II MARGARET LAWLOR RECEIVED A PAYMENT IN THE AMOUNT OF $178,677 FROM A SPLIT-DOLLAR LIFE INSURANCE POLICY DURING CALENDAR YEAR 2009. THIS AMOUNT WAS INCLUDED IN TAXABLE WAGES AND IS REPORTED IN BOX B(III) OF SCHEDULE J, PART II. X FUNDRAISING RAFFLE CONTRIB. 288 135590 0 0 false false false PROGRAM SERVICE ACCOMPLISHMENTS 990 PART III - LINE 4A SAINT MARY'S HOSPITAL FOUNDATION, INC. RAISES CONTRIBUTIONS FROM THE PUBLIC SOLELY FOR THE BENEFIT OF SAINT MARY'S HOSPITAL, INC. CONTRIBUTIONS ARE RAISED FOR SPECIFIC AND NON-SPECIFIC PURPOSES AND DISTRIBUTED TO THE HOSPITAL BASED ON THE HOSPITAL'S NEEDS. SAINT MARY'S HOSPITAL HAS MANY IMPORTANT SERVICE ACCOMPLISHMENTS IN THE AREAS OF INPATIENT SERVICES AND OUTPATIENT SERVICES. THE HOSPITAL ALSO PROVIDES MANY COMMUNITY BENEFITS. SAINT MARY'S HOSPITAL, INPATIENT SERVICE ACCOMPLISHMENTS SAINT MARY'S REMAINS COMMITTED TO PROVIDING THE HIGHEST QUALITY CARE FOR OUR PATIENTS. THE HOSPITAL PROVIDED INPATIENT TREATMENT FOR 12,223 INPATIENTS IN 2010, WITH AN AVERAGE LENGTH OF STAY OF 4.3 DAYS. SAINT MARY'S THREE LARGEST PROGRAMS ARE SURGERY, CARDIOLOGY AND MEDICINE. IN 2010, 1,389 PATIENTS CHOSE TO HAVE SURGERY AT SAINT MARY'S, STAYING AT THE HOSPITAL FOR A TOTAL OF 8,773 DAYS AND GENERATED $23 MILLION IN REVENUE; 1,400 PATIENTS CHOSE SAINT MARY'S FOR CARDIAC CARE, STAYING IN THE HOSPITAL FOR A TOTAL OF 5,343 DAYS AND GENERATING $19 MILLION IN REVENUE; AND 1,697 PATIENTS RECEIVED INPATIENT MEDICAL CARE, STAYING IN THE HOSPITAL FOR A TOTAL OF 7,732 DAYS, AND GENERATING $16 MILLION IN REVENUE. AS THE HOSPITAL CONTINUES TO DISTINGUISH ITSELF AS A LEADING PROVIDER OF HEALTHCARE SERVICES IN THE REGION, IT HAS GARNERED RECOGNITION FROM STATE AND NATIONAL ORGANIZATIONS FOR PROVIDING OUTSTANDING PATIENT CARE. SAINT MARY'S HOSPITAL IS RANKED AS THE TOP-PERFORMING HOSPITAL IN CONNECTICUT FOR DELIVERING PERCUTANEOUS CORONARY INTERVENTION (PCI), A LIFE-SAVING PROCEDURE THAT OPENS THE BLOCKED ARTERIES OF HEART ATTACK PATIENTS. THE NATIONAL STANDARD STATES THAT PATIENTS SHOULD RECEIVE THIS PROCEDURE WITHIN 90 MINUTES OF ARRIVAL AT THE HOSPITAL. ACCORDING TO THE FEDERAL CENTERS FOR MEDICARE AND MEDICAID (CMS), 100 PERCENT OF PATIENTS WHO REQUIRE ANGIOPLASTY RECEIVE IT AT SAINT MARY'S WITHIN 90 MINUTES OF ARRIVAL. THIS RANKS SAINT MARY'S AS THE NUMBER ONE PERFORMING HOSPITAL IN CONNECTICUT, AND SIGNIFICANTLY AHEAD OF THE NATIONAL AVERAGE, WHICH IS 79 PERCENT OF PATIENTS BEING TREATED WITHIN 90 MINUTES. IN ADDITION, SAINT MARY'S IS THE FIRST HOSPITAL IN CONNECTICUT TO RECEIVE A GOLD AWARD UNDER THE AMERICAN HEART ASSOCIATION'S GET WITH THE GUIDELINES PROGRAM FOR ITS TREATMENT OF PATIENTS WITH CORONARY ARTERY DISEASE. IT IS ALSO THE FIRST HOSPITAL IN THE STATE TO RECEIVE A GOLD AWARD FOR ITS TREATMENT OF PATIENTS WITH HEART FAILURE. THESE ACCOMPLISHMENTS ARE INDICATIVE OF THE EXTRAORDINARY CROSS-DISCIPLINE COLLABORATION AND OVERALL COMMITMENT TO CLINICAL EXCELLENCE SHARED BY THE SAINT MARY'S TEAM. IN ADDITION, SAINT MARY'S IS A LEADER IN SURGICAL SERVICES. OUR PHYSICIANS PROVIDE BOTH IN-PATIENT AND OUT-PATIENT SURGERY IN THE AREAS OF GI, ONCOLOGY, THORACIC, VASCULAR, LAPAROSCOPY, TRAUMA, GYNECOLOGY, UROLOGY, NEUROSURGERY, ORTHOPEDICS, CARDIOTHORACIC, PLASTIC, AND ENDOCRINE SURGERY AT SAINT MARY'S HOSPITAL. SAINT MARY'S HEALTH SYSTEM IS PLEASED TO INTRODUCE A NEW ERA OF SURGERY TO THE GREATER WATERBURY COMMUNITY. OUR EXPERIENCED SURGEONS ARE NOW PERFORMING ADVANCED ROBOTIC-ASSISTED PROCEDURES UTILIZING THE DAVINCI ROBOTIC SURGICAL SYSTEM. THIS INNOVATIVE TECHNOLOGY IS QUICKLY BECOMING THE STANDARD OF CARE FOR MANY COMPLEX SURGICAL PROCEDURES WITH APPLICATIONS FOR GYNECOLOGIC, UROLOGIC, THORACIC, CARDIAC AND GENERAL SURGERY. AS THE LEADING PROVIDER OF SURGICAL SERVICES IN THE REGION, SAINT MARY'S IS COMMITTED TO PROVIDING THE HIGHEST QUALITY AND SUPERIOR SERVICE FOR OUR PATIENTS. DURING FISCAL YEAR 2010, SAINT MARY'S PERFORMED 85 SURGERIES USING THE DAVINCI ROBOTIC SURGICAL SYSTEM. IN ADDITION, THE HOSPITAL OFFERS A COMPREHENSIVE SIX- YEAR TRAINING PROGRAM IN GENERAL SURGERY. SAINT MARY'S HOSPITAL IS COMMUNITY BASED AND BOASTS A CLOSE AFFILIATION TO YALE UNIVERSITY IN NEARBY NEW HAVEN, CONNECTICUT, AND THE UNIVERSITY OF CONNECTICUT IN FARMINGTON, CONNECTICUT. HISTORICALLY, NEARLY ONE HALF OF THE RESIDENTS COMPLETING THIS PROGRAM HAVE PURSUED FURTHER TRAINING IN CARDIOTHORACIC, COLON AND RECTAL, PLASTIC AND RECONSTRUCTIVE, SURGICAL ONCOLOGY, OR VASCULAR SURGERY. SAINT MARY'S HOSPITAL, OUTPATIENT SERVICE ACCOMPLISHMENTS 990 PART III - LINE 4A CONTINUED SAINT MARY'S HEALTH SYSTEM EXTENDS FROM WATERBURY TO WOLCOTT, NAUGATUCK, SOUTHBURY AND PROSPECT. IN 2010, 223,969 PATIENTS CHOSE SAINT MARY'S FOR OUTPATIENT CARE. THE HEALTH SYSTEM'S TWO LARGEST PROGRAMS ARE ITS EMERGENCY DEPARTMENT, WHICH PROVIDED TREATMENT FOR 60,525 PATIENTS IN 2010, GENERATING $20 MILLION IN REVENUE, AND AMBULATORY SURGERY. IN 2010, 8,380 PATIENTS CHOSE TO HAVE OUTPATIENT SURGERY AT SAINT MARY'S, GENERATING $19 MILLION IN REVENUE. OUTPATIENT SERVICES INCLUDE BUT ARE NOT LIMITED TO: MEDICAL IMAGING, BLOOD DRAW AND LAB SERVICES, CARDIAC AND PULMONARY REHABILITATION CLASSES AND EXPECTANT PARENT CLASSES. SAINT MARY'S SATELLITE FACILITIES INCLUDE HEALTH AND WELLNESS CENTERS PROVIDING WALK-IN HEALTH CARE, BLOOD DRAW STATIONS AND X-RAY SERVICES IN NAUGATUCK AND WOLCOTT; OUTPATIENT REHABILITATION THERAPY OFFICES IN WATERBURY, WOLCOTT AND NAUGATUCK; OUTPATIENT SLEEP DISORDERS CENTERS IN WATERBURY AND WOLCOTT; THE BREAST & ONCOLOGY CENTERS IN SOUTHBURY AND PROSPECT, AND OCCUPATIONAL THERAPY IN WATERBURY. SAINT MARY'S HAS BEEN RECOGNIZED AT THE STATE AND NATIONAL LEVELS AS A DISTINGUISHED PROVIDER OF OUTPATIENT SERVICES. SAINT MARY'S IS AMONG THE LARGEST AND BUSIEST EMERGENCY DEPARTMENTS IN THE STATE OF CONNECTICUT. IN FACT, WITH APPROXIMATELY 70,000 EMERGENCY VISITS PER YEAR, WE RANK AS THE 6TH BUSIEST IN THE STATE. (THIS IS IN ADDITION TO OUR PRIMARY CARE VISITS, WHICH AT 85,000 RANKS US SECOND IN CONNECTICUT.) THE SAINT MARY'S EMERGENCY DEPARTMENTS IS A CERTIFIED LEVEL 2 TRAUMA CENTER, AND ALL PHYSICIANS ARE BOARD CERTIFIED IN EMERGENCY MEDICINE. THE EMERGENCY DEPARTMENT PLAYS A CRITICAL ROLE IN HELPING SAINT MARY'S ACHIEVE ITS EXTRAORDINARY PERFORMANCE WITH DOOR-TO-BALLOON TIME, A MEASURE OF THE TIME IT TAKES A HEART ATTACK VICTIM TO HAVE HIS OR HER BLOCKED ARTERIES OPENED. ONE HUNDRED PERCENT OF PATIENTS NEEDING THIS SERVICE RECEIVE IT WITHIN 90 MINUTES OF ARRIVAL, WHICH RANKS SAINT MARY'S FIRST IN CONNECTICUT AND WELL AHEAD OF THE NATIONAL AVERAGE FOR THIS MEASURE. THE DEPARTMENT ALSO PROVIDES AMBULATORY CARE SERVICES, WHICH ARE DESIGNED TO ACCOMMODATE NON-EMERGENT, LOWER ACUITY NEEDS. THIS UNIT CONTAINS A PEDIATRIC CENTER, WHICH IS STAFFED BY PEDIATRICIANS EACH AFTERNOON. FINALLY, THE EMERGENCY DEPARTMENT CONTAINS A DEDICATED BEHAVIORAL HEALTH AREA, SUPPORTED BY A PSYCHIATRIST. THIS UNIT PROVIDES A MUCH NEEDED RESOURCE FOR SERVING OUR PATIENT POPULATION, AND HAS SEEN CONTINUED GROWTH AND INCREASE IN DEMAND. SAINT MARY'S CANCER PROGRAM WAS AWARDED A THREE-YEAR ACCREDITATION FROM THE AMERICAN COLLEGE OF SURGEONS' COMMISSION ON CANCER WITH COMMENDATIONS IN SEVEN CATEGORIES. ONLY 40 PERCENT OF ALL U.S. HOSPITALS SURVEYED BY THE COMMISSION ACHIEVE THIS LEVEL OF RECOGNITION. ACS ACCREDITATION ENSURES THAT PATIENTS WHO CHOOSE SAINT MARY'S FOR CANCER CARE HAVE ACCESS TO A COMPLETE RANGE OF STATE-OF-THE-ART SERVICES AND EQUIPMENT, A TEAM THAT COORDINATES THE BEST AVAILABLE TREATMENT OPTIONS, AND ACCESS TO CLINICAL TRIALS AND NEW TREATMENT OPTIONS, AS WELL AS EARLY DETECTION PROGRAMS, EDUCATION AND SUPPORT SERVICES. SAINT MARY'S WOUND HEALING CENTER IS STAFFED BY A SPECIALIZED TEAM OF PHYSICIANS, SURGEONS, NURSES AND TECHNICIANS, WHO COLLABORATE TO PRODUCE THE BEST POSSIBLE OUTCOMES. ON AVERAGE, 87.7 PERCENT OF PATIENTS WHO COME TO THE CENTER WITH CHRONIC WOUNDS THAT HAVE RESISTED TRADITIONAL TREATMENT ACHIEVE SUCCESSFUL RESULTS IN 12 TO 18 WEEKS. SPECIALIZED WOUND CARE ALSO HELPS PATIENTS WITH DIABETIC ULCERS, PRESSURE ULCERS, INFECTIONS AND COMPROMISED SKIN GRAFTS. IN ADDITION THE CENTER OFFERS HYPERBARIC OXYGEN THERAPY, WHICH IS PARTICULARLY EFFECTIVE FOR PATIENTS WHO SUFFER FROM RADIATION DAMAGE OR FACE THE POSSIBILITY OF AMPUTATION. PROCESS TO ELECT MEMBERS OF THE GOVERNING BODY 990 PART VI SECTION A LINE 7A SAINT MARY'S HEALTH SYSTEM, INC. IS THE SOLE MEMBER OF SAINT MARY'S HOSPITAL FOUNDATION, INC. AND APPOINTS THE BOARD OF DIRECTORS. ARE THE DECISIONS OF THE GOVERNING BODY SUBJECT TO APPROVAL 990 PART VI SECTION A LINE 7B PURSUANT TO THE PROVISIONS OF SECTION 33-1080(B) OF THE CONNECTICUT REVISED NON-STOCK CORPORATION ACT AND THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF THE CORPORATION, THERE SHALL BE RESERVED TO THE ARCHBISHOP OF THE HARTFORD ROMAN CATHOLIC ARCHDIOCESE OF HARTFORD (UNLESS SPECIFICALLY DELEGATED BY HIM) THE FOLLOWING RIGHTS AND POWERS: (A)TO APPROVE THE MISSION OR PURPOSE AND THE PHILOSOPHY OF THE CORPORATION AND OF ANY SAINT MARY'S SUBSIDIARIES. (B)TO APPROVE THE ACQUISITION, ALIENATION OR CONVEYANCE OF THE REAL PROPERTY OF THE CORPORATION THAT IS VALUED AT AN AMOUNT GREATER THAN THAT ESTABLISHED BY THE UNITED STATES CONFERENCE OF CATHOLIC BISHOPS PURSUANT TO CANON LAW OR TO PLACE A MORTGAGE ON SUCH PROPERTY OR TO BORROW FUNDS IN AMOUNTS GREATER THAN THOSE ESTABLISHED BY THE UNITED STATES CONFERENCE OF CATHOLIC BISHOPS PURSUANT TO CANON LAW, WHETHER IN A SINGLE TRANSACTION OR A SERIES OF RELATED TRANSACTIONS. (C)TO APPROVE THE DISPOSAL OF ALL OR SUBSTANTIALLY ALL OF THE PHYSICAL ASSETS OF THE CORPORATION AND TO APPROVE THE MERGER OR CONSOLIDATION OF THE CORPORATION. (D)TO APPROVE THE AMENDMENT OF THE CERTIFICATE OF INCORPORATION OR THE BYLAWS OF THE CORPORATION. FORM 990 REVIEW PROCESS PART VI, SECTION B, QUESTION 11A THE FORM 990 WAS REVIEWED BY THE ORGANIZATION'S GOVERNING BODY BEFORE IT WAS FILED. THE ORGANIZATION HAS A FORM 990 TASK FORCE COMPRISED OF TWO INDEPENDENT BOARD MEMBERS, FOUR MEMBERS OF THE EXECUTIVE MANAGEMENT TEAM, AND SIX EMPLOYEES FROM THE FINANCE, PLANNING, AND MARKETING DEPARTMENTS. THE TASK FORCE OVERSEES THE PREPARATION OF THE FORM 990. WHEN COMPLETE, THE TASK FORCE PRESENTS THE FORM 990 TO THE ORGANIZATION'S GOVERNANCE, COMPENSATION, AND FINANCE COMMITTEES WHICH REVIEW THE DOCUMENT FOR ACCURACY AND COMPLETENESS. ONCE COMMITTEE REVIEWS ARE COMPLETE, THE FORM 990 IS DISTRIBUTED TO BOARD MEMBERS FOR THEIR REVIEW. CONFLICT OF INTEREST POLICY PART VI, SECTION B, QUESTION 12C ANNUALLY, EACH DIRECTOR, OFFICER, AND BOARD COMMITTEE MEMBER OF SMHS AND ANY OF ITS AFFILIATES, AS APPROPRIATE, WILL SIGN A STATEMENT WHICH AFFIRMS THAT THE PERSON: 1) HAS RECEIVED A COPY OF THE CONFLICT OF INTEREST POLICY; 2) HAS READ AND UNDERSTANDS THE POLICY; AND 3) HAS AGREED TO COMPLY WITH THE POLICY. THE STATEMENTS WILL BE DISTRIBUTED ANNUALLY BY THE COMPLIANCE OFFICER AND RETURNED TO THE CEO OR DELEGATED PERSON, WHERE THEY WILL BE RECORDED, REVIEWED, SUMMARIZED AND PRESENTED TO THE CHAIRPERSON OF THE BOARD, AS WELL AS TO THE AUDIT AND GOVERNANCE COMMITTEES, WHERE THEY EXISTS. CONFLICT OF INTEREST STATEMENTS WILL BE MAINTAINED FOR A MINIMUM OF SEVEN YEARS BY THE COMPLIANCE OFFICER. CONFLICT OF INTEREST FORMS PROVIDED BY OFFICERS, DIRECTORS AND BOARD COMMITTEE MEMBERS WILL BE FORWARDED TO THE COMPLIANCE OFFICER, ALONG WITH A STATEMENT OF IMPACT AS TO THE EFFECT OF THE CONFLICT OF INTEREST ON THE BUSINESS AND ANY ACTION TAKEN TO MINIMIZE THE EFFECT. THEY WILL BE MAINTAINED BY THE COMPLIANCE OFFICER FOR A MINIMUM OF SEVEN YEARS. COMPENSATION POLICY PART VI, SECTION B, QUESTION 15A & 15B THE PROCESS FOR DETERMINING THE COMPENSATION OF THE FOUNDATION'S TOP MANAGEMENT OFFICIALS, INCLUDING THE CEO, ALL OFFICERS, AND KEY EMPLOYEES, IS THE RESPONSIBILITY OF THE HEALTH SYSTEM'S EXECUTIVE COMPENSATION COMMITTEE. THE COMMITTEE IS APPOINTED BY THE HEALTH SYSTEM'S BOARD OF DIRECTORS FOR THE PURPOSE OF ASSISTING THE BOARD IN FULFILLING ITS RESPONSIBILITY TO THE FOUNDATION AND THE COMMUNITY TO ENSURE THE COMPENSATION IS IN ACCORDANCE WITH THE FOUNDATION'S POLICIES. THE COMMITTEE IS COMPRISED OF SIX DIRECTORS WHO ARE INDEPENDENT OF MANAGEMENTS AND SAINT MARY'S HEALTH SYSTEM AND FREE OF ANY CONFLICTS OF INTEREST THAT WOULD INTERFERE WITH THEIR EXERCISE OF INDEPENDENT JUDGMENT. THE COMMITTEE CONTACTS AN INDEPENDENT COMPENSATION CONSULTANT AND UTILIZES LOCAL AND NATIONAL COMPENSATION SURVEYS TO SET COMPENSATION LEVELS. PUBLIC DISCLOSURE PART VI, SECTION C, QUESTION 19 COPIES OF THE GOVERNING DOCUMENTS, CONFLICTS OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC UPON REQUEST. ORGANIZATIONS FINANCIAL STATEMENTS 990 PART XI - LINES 2B 2C SAINT MARY'S HOSPITAL FOUNDATION IS AUDITED AS PART OF THE CONSOLIDATED FINANCIAL STATEMENTS OF SAINT MARY'S HEALTH SYSTEM. ADDITIONALLY, THE FOUNDATION ALSO RECEIVES SEPARATE AUDITED FINANCIAL STATEMENTS. SAINT MARY'S HOSPITAL INC 56 FRANKLIN STREET WATERBURY CT 06706 060646844 HOSPITAL CT 501(C)(3) 3 SM HEALTHSYS HEART CENTER OF GREATER WATERBURY INC PO BOX 2153 WATERBURY CT 06722 830416893 MANAGEMENT CT 501(C)(3) 11A ST MARY HOSP HAROLD LEVER REGIONAL CANCER CENTER 1075 CHASE PARKWAY WATERBURY CT 06708 061548409 TREATMENT CTR CT 501(C)(3) 3 ST MARY HOSP SAINT MARY S HEALTH SYSTEM INC 56 FRANKLIN STREET WATERBURY CT 06703 222528399 HOLDING CO. 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